| 10-04015 | 01/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): August "Jamie" H. Schupp
Respondent(s): Peter Jelstrom
Respondent Lawyers(s): Peter Lindsay Jelstrom
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | |
| 09-05489 | 01/11/2011 | Claimant(s): George Saltzman
Claimant Lawyers(s): David F. McComb
Respondent(s): Jeffrey Smith, Morgan Stanley
Respondent Lawyers(s): Allison J. Adler
Arbitrator(s): Guillermo L. Bosch, Elizabeth A. McKinney, Richard N. Kelmans
Hearing Site: Philadelphia, PA
| | |
| 09-05246 | 01/11/2011 | Claimant(s): FTB, GC&KB Investments.
Claimant Lawyers(s): Stephen D. Marx
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas A. Roberts
Arbitrator(s): Robert H. Putnam, Frederick S. Duncan, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
|  | $85,507 |
| 09-06164 | 12/23/2010 | Claimant(s): The Trust FBO Dorothy S. Hellyer
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy Bass
Arbitrator(s): Jane C. Carney, Peter J. Pokorny, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $300 |
| 09-05134 | 12/16/2010 | Claimant(s): Concetta Bannan, Gerard Bannan
Claimant Lawyers(s): John F. McKenna
Respondent(s): Arthur Jones, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Karl Marquardt
Arbitrator(s): Guillermo L. Bosch, Gordon E. Wright, Elliot B. Platt
Hearing Site: Philadelphia, PA
| | $0 |
| 10-03399 | 12/03/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Timothy Scanlan
Respondent Lawyers(s): James A. McGurk
Arbitrator(s): James A. Lundberg
Hearing Site: Milwaukee, WI
| | |
| 09-05196 | 11/19/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): John Lutz
Respondent(s): George Garro, Jon Metzger, SMH Capital Inc.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Larry D. Hayden, Luis D. Rovira, David L. Erickson
Hearing Site: Denver, CO
| | |
| 09-05070 | 11/18/2010 | Claimant(s): Joanne Bohnke
Claimant Lawyers(s): David Valicenti
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Robert S. McConnell, Thomas A. Peterson, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
| | $136,112 |
| 09-06220 | 11/15/2010 | Claimant(s): Earl D. Bolen IRA, Bolen Family Trust
Claimant Lawyers(s): H. Thomas Fehn
Respondent(s): Christopher Price, Morgan Stanley
Respondent Lawyers(s): Gregg Garneau
Arbitrator(s): Elliott David Finkel, Joseph L. Hagan, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05415 | 11/10/2010 | Claimant(s): Lenore J. Gaynor Decl . of Trust
Claimant Lawyers(s): David R. Chase
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): James D. McDonald, Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
